Nicholas K. Barnes

AVANTAX PLANNING PARTNERS

Fulton, NY 13069

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CRD#: 5258175

Professional summary

Nicholas K Barnes, CFP®, who also goes by Nicholas K Barnes, Nicholas Kevin Barnes, Nicholas Barnes, Nick Barnes, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Fulton, New York and CETERA INVESTMENT ADVISERS LLC located in Fulton, New York.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 13 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas K Barnes | Nicholas Kevin Barnes | Nicholas Barnes | Nick Barnes

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) CITY COUNCIL POSITION: city counselor NATURE: I would be appointed to the position to replace someone stepping down. I would be a public servant directing inhabitants to the appropriate resources for their needs. Additionally I would be voting on matters that directly impact my local community. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 116 Phillips st, Fulton NY 13069, United States DESCRIPTION: Local residents would come to me as their first point of contact to address any concerns or questions. Anything one would go to their local counsel man for guidance or assistance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas K Barnes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 129035

PHOENIX, AZ

Past

January 5, 2007 - April 17, 2008

E*TRADE SECURITIES LLC

CRD#: 29106

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/5/2025)

Colorado
(9/5/2025)

Florida
(9/5/2025)

Georgia
(9/5/2025)

Illinois
(9/5/2025)

Indiana
(9/5/2025)

Iowa
(9/5/2025)

Maryland
(9/5/2025)

Massachusetts
(9/5/2025)

Minnesota
(9/5/2025)

New Hampshire
(9/5/2025)

New Jersey
(9/5/2025)

IAR

New York
(5/9/2023)

New York
(9/5/2025)

North Carolina
(9/5/2025)

Ohio
(9/5/2025)

Oregon
(9/5/2025)

Pennsylvania
(9/5/2025)

South Carolina
(9/5/2025)

IAR

Texas
(8/9/2025)

Texas
(9/5/2025)

Virginia
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/27/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/21/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/23/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nicholas K. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas K Barnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

MML INVESTORS SERVICES, LLC

REAGAN COMPANIES ASSET MANAGEMENT, INC

PRUCO SECURITIES, LLC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/27/2023

Series 65

Date: 11/21/2008

Series 7TO

Date: 5/23/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2007

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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